Publications July 12, 2021 – Insight Preparing for the Full Implementation of the DOL Fiduciary Rule Kevin Woodard March 12, 2021 – Articles Division of Examinations, Feb. 26, 2021: Continued Focus On Digital Asset Securities Kevin Woodard February 10, 2021 – Insight New York Investment Adviser Representative Registration Kevin S. Woodard January 6, 2021 – Insight OCIE Risk Alert - Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations Kevin S. Woodard November 24, 2020 – Legal Alerts OCIE Observations: Investment Adviser Compliance Programs Kevin S. Woodard November 18, 2020 – Legal Alerts OCIE RISK ALERT: Supervision, Compliance, and Multiple Branch Offices Kevin Woodard October 21, 2020 – Insight OCIE RISK ALERT—Cybersecurity: Ransomware Alert 3rd Quarter Investment Advisers NewsletterKevin Woodard October 21, 2020 – Insight Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers Kevin S. Woodard October 21, 2020 OCIE RISK ALERT—Cybersecurity: Safeguarding Client Accounts against Credential Compromise 3rd Quarter Investment Advisers NewsletterKevin S. Woodard October 21, 2020 – Insight SEC Roundtable to Discuss Reg BI and Form CRS 3rd Quarter Investment Advisers NewsletterKevin S. Woodard October 21, 2020 – Insight SEC Enforcement Action – VALIC Financial Advisors 3rd Quarter Investment Advisers NewsletterKevin S. Woodard October 16, 2020 – Insight SEC Issues Additional Form CRS Guidance Kevin S. Woodard and Jeff Chapman July 23, 2020 – Insight Dealing with Vulnerable Investors and Financial Exploitation Kevin Woodard July 16, 2020 – Insight Examinations Focusing on Compliance with Form CRS Kevin S. Woodard July 16, 2020 – Insight Observations from Examinations of Investment Advisers Managing Private Funds Kevin S. Woodard July 16, 2020 – Insight LIBOR Transition Preparedness Kevin S. Woodard July 16, 2020 – Insight SEC Enforcement Action against Morgan Stanley Smith Barney for Providing Misleading Information to Retail Clients Kevin S. Woodard July 16, 2020 – Insight SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors over Improper Share Class Selection Disclosure Kevin S. Woodard July 16, 2020 – Insight SEC Charges California Trader for Manipulative Trading Scheme Involving COVID-19 Claims Kevin S. Woodard June 22, 2020 – Legal Alerts Municipal Advisors Granted Relief under SEC’s Temporary Conditional Exemption Kevin S. Woodard April 30, 2020 – Insight Paycheck Protection Program Disclosure Requirements: UPDATE Kevin S. Woodard April 17, 2020 – Special Update Paycheck Protection Program Disclosure Requirements Kevin S. Woodard April 13, 2020 – Newsletters DCS Investment Advisers Newsletter 1st Quarter 2020 April 10, 2020 – Special Update OCIE Risk Alerts: Have You implemented Regulation BI and Form CRS? April 6, 2020 – Special Coronavirus Update Regulation Best Interest and Form CRS March 27, 2020 Cybersecurity and Privacy Concerns to Keep in Mind for Remote Work Investment Advisers Alert Page 2 of 2 Previous
July 12, 2021 – Insight Preparing for the Full Implementation of the DOL Fiduciary Rule Kevin Woodard
March 12, 2021 – Articles Division of Examinations, Feb. 26, 2021: Continued Focus On Digital Asset Securities Kevin Woodard
January 6, 2021 – Insight OCIE Risk Alert - Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations Kevin S. Woodard
November 24, 2020 – Legal Alerts OCIE Observations: Investment Adviser Compliance Programs Kevin S. Woodard
November 18, 2020 – Legal Alerts OCIE RISK ALERT: Supervision, Compliance, and Multiple Branch Offices Kevin Woodard
October 21, 2020 – Insight OCIE RISK ALERT—Cybersecurity: Ransomware Alert 3rd Quarter Investment Advisers NewsletterKevin Woodard
October 21, 2020 – Insight Select COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers Kevin S. Woodard
October 21, 2020 OCIE RISK ALERT—Cybersecurity: Safeguarding Client Accounts against Credential Compromise 3rd Quarter Investment Advisers NewsletterKevin S. Woodard
October 21, 2020 – Insight SEC Roundtable to Discuss Reg BI and Form CRS 3rd Quarter Investment Advisers NewsletterKevin S. Woodard
October 21, 2020 – Insight SEC Enforcement Action – VALIC Financial Advisors 3rd Quarter Investment Advisers NewsletterKevin S. Woodard
July 16, 2020 – Insight Observations from Examinations of Investment Advisers Managing Private Funds Kevin S. Woodard
July 16, 2020 – Insight SEC Enforcement Action against Morgan Stanley Smith Barney for Providing Misleading Information to Retail Clients Kevin S. Woodard
July 16, 2020 – Insight SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors over Improper Share Class Selection Disclosure Kevin S. Woodard
July 16, 2020 – Insight SEC Charges California Trader for Manipulative Trading Scheme Involving COVID-19 Claims Kevin S. Woodard
June 22, 2020 – Legal Alerts Municipal Advisors Granted Relief under SEC’s Temporary Conditional Exemption Kevin S. Woodard
April 30, 2020 – Insight Paycheck Protection Program Disclosure Requirements: UPDATE Kevin S. Woodard
March 27, 2020 Cybersecurity and Privacy Concerns to Keep in Mind for Remote Work Investment Advisers Alert